Senior Region Registered Principal

The Field Registered Principal (Employee) is responsible for supervising the sales activities and suitability of each advisor’s entire book of business in accordance with the Written Supervisory Procedures (WSPs). This role requires a comprehensive understanding of the advisors’ practices, operations, and support staff within their assigned Office of Supervisory Jurisdiction (OSJ) to effectively oversee regulatory and supervisory responsibilities. Key Responsibilities • Provide and document front-line supervision and compliance oversight for advisor practices through coaching, ongoing engagement, an annual practice assessment, office inspections, sales and suitability reviews, and verification of compliance requirement completion. Administer corrective action, education, and disciplinary processes. • Proactively identify potential policy and procedural violations through targeted reviews of advisor activity, client outreach, and analysis of supervisory reports and risk indicators. • Partner with key corporate business partners to identify, investigate, and resolve compliance and supervisory issues, ensuring appropriate escalation, remediation, and adherence to firm policies and recordkeeping requirements. Required Qualification • Bachelors degree or equivalent. • 7-10 years of relevant experience required. • Strong knowledge of the financial services industry, broker-dealer regulations, and supervisory requirements. • Proven ability to exercise sound judgment and make balanced, risk-based decisions in complex situations. • Exceptional communication and relationship management skills, with the ability to influence stakeholders at all levels. • Demonstrated success managing conflict, delivering difficult messages, and driving accountability. • Strong leadership presence with the ability to coach, develop, and influence advisors and business partners. • Self-directed and results-oriented, with the ability to manage competing priorities in a fast-paced environment. • Advanced analytical and problem-solving skills, including the ability to identify risks and implement effective solutions. • Experience developing and delivering training to support performance and regulatory compliance. • Strong technical aptitude and ability to leverage technology to enhance supervision and oversight. • Maintains all required FINRA and state securities registrations, including Series 7, Series 24, Series 63/66, and Series 65/66, as applicable. Preferred Qualifications • Self-motivated with the ability to achieve results in an independent environment, aptitude with technology, ability to manage multiple tasks. Visa Sponsorship Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN). Remote Work This position is remote. Any expectations for travel or in-person collaboration will be discussed during the hiring process. Base Pay Salary The hourly pay for this position is $115,000 - $158,200. We have a pay-for performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances. Full time Exempt Job Family Group Legal Affairs Line of Business AWMBD Advice and Wealth Mgmt and Business Development